Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Trombley Wealth Management CRD: 312536 | - | 0 | 1 | - | Unknown |
| Trondheim Capital, LLC CRD: 152843 | - | 0 | 1 | - | Unknown |
| Troob Capital Management LLC CRD: 161416 | - | 0 | 1 | - | Unknown |
| Trooper Capital Management LLC CRD: 335517 | - | 0 | 1 | - | Unknown |
| Trophy Point Financial Planning LLC CRD: 308997 | - | 0 | 0 | - | Unknown |
| Tropion Sports Partners LLC CRD: 328076 | - | 0 | 1 | - | Unknown |
| Trost Financial Planning CRD: 306915 | - | 0 | 0 | - | Unknown |
| Troster Singer Corporation CRD: 7441 | - | 0 | 0 | A | INACTIVE |
| Trott Brook Financial CRD: 290962 | - | 0 | 1 | - | Unknown |
| Trotter Capital Management, Inc. CRD: 106045 | - | 0 | 0 | - | Unknown |
| Troubadour Capital, LLC CRD: 268822 | - | 0 | 0 | - | Unknown |
| Troup Capital, Inc. CRD: 172200 | - | 0 | 0 | - | Unknown |
| Trout Capital LLC CRD: 131489 | - | 0 | 0 | A | INACTIVE |
| Trout Creek Investment Company, LLC CRD: 168507 | - | 0 | 0 | - | Unknown |
| Troutman & Associates Inc. CRD: 307102 | - | 0 | 0 | - | Unknown |
| Troutman Wealth CRD: 301107 | - | 0 | 1 | - | Unknown |
| Troutwood, LLC CRD: 305895 | - | 0 | 0 | - | Unknown |
| Trove Investment Advisors LLC CRD: 306904 | - | 0 | 1 | - | Unknown |
| Trove Management, LLC CRD: 307826 | - | 0 | 1 | - | Unknown |
| Trove, LLC CRD: 329819 | - | 0 | 1 | - | Unknown |
| Trovera Capital Management, LLC CRD: 340577 | - | 0 | 1 | - | Unknown |
| Trovio Asset Management Ltd CRD: 330520 | - | 0 | 0 | - | Unknown |
| Trowbridge Capital Partners LLC. CRD: 297764 | - | 0 | 2 | - | Unknown |
| Troy Asset Management Ltd CRD: 319174 | - | 0 | 0 | - | Unknown |
| Troy Capital Management, LLC CRD: 169010 | - | 0 | 0 | - | Unknown |
| Troy Capital Partners CRD: 307763 | - | 0 | 0 | - | Unknown |
| Troy Capital Partners CRD: 296860 | - | 0 | 0 | - | Unknown |
| Troy Financial Investment Services Group, Inc. CRD: 24375 | - | 0 | 0 | A | INACTIVE |
| Troy Investment Associates, Inc. CRD: 34872 | - | 0 | 0 | A | INACTIVE |
| Troy R. Spratley Investment Advisory CRD: 120956 | - | 0 | 1 | - | Unknown |
| Troy Securities, Inc. CRD: 122241 | - | 0 | 0 | A | INACTIVE |
| TRP Capital Advisors V, LLC CRD: 306604 | - | 0 | 1 | - | Unknown |
| TRP Capital Advisors VI, LLC CRD: 329787 | - | 0 | 1 | - | Unknown |
| TRP Capital Advisors, LLC CRD: 281098 | - | 0 | 1 | - | Unknown |
| TRR LLC CRD: 104127 | - | 0 | 0 | A | INACTIVE |
| TRS Advisors, LLC CRD: 283248 | - | 0 | 2 | - | Unknown |
| Trsi, Inc. CRD: 20149 | - | 0 | 0 | A | INACTIVE |
| TRSS Wealth Management LLC CRD: 127041 | - | 0 | 0 | - | Unknown |
| TRU Arrow Management, LP CRD: 316225 | - | 0 | 1 | - | Unknown |
| TRU Family Office, LLC CRD: 322301 | - | 0 | 0 | - | Unknown |
| TRU Independence Asset Management 2, LLC CRD: 309098 | - | 0 | 7 | - | Unknown |
| TRU Independence Asset Management, LLC CRD: 168256 | - | 0 | 8 | - | Unknown |
| TRU-Capital Investment Fund, LLC CRD: 324835 | - | 0 | 1 | - | Unknown |
| Truadvice LLC CRD: 292482 | - | 0 | 0 | - | Unknown |
| Truadvisors CRD: 170564 | - | 0 | 2 | - | Unknown |
| Truarc Partners, LP CRD: 312288 | - | 0 | 1 | - | Unknown |
| Trubee Wealth Advisors, Inc. CRD: 3618 | NY | 7 | 3 | C | Active |
| Trubulls Wealth Advisors, LLC CRD: 318964 | - | 0 | 0 | - | Unknown |
| Trubuzz Inc. CRD: 282693 | - | 0 | 0 | - | Unknown |
| Truck Capital CRD: 164329 | - | 0 | 1 | - | Unknown |